Conduct and pay in the financial services industry the regulation of individuals this webpage contains a list of developments relating to the subject matter of conduct and pay in the financial services industry. Conduct and pay in the financial services industry considers the full extent of an individuals employment from pre contractual discussions to the post termination clawback of remuneration it is a vital reference for lawyers and human resources professionals working within the financial services industry both in house and in private practice. The topics addressed include the senior manager certification and approved person regimes regulatory references and whistleblowing disciplinary investigations enforcement and sanctions notifications form c and fitness propriety bonus disputes and the remuneration code conduct and pay in the financial services industry considers the . Code of ethics for the financial services industry section 1 introduction 1 background 3 2 exposure draft of the proposed fspb code 4 3 consultation response 4 4 acknowledgement 6 for the development of a more prescriptive code of conduct which the fspb is already embarking on as well as providing a roadmap for the future work. Financial services industry compensation rules in response to the financial crisis congress and regulators enacted a number of measures aimed at the financial industry to curb perceived compensation abuses mitigate risk with respect to incentives and prevent excessive compensation
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